Statutory interpretation is the process of interpreting and applying
legislationLegislation is law which has been promulgated by a legislature or other governing body, or the process of making it. The term may refer to a single law, or the collective body of enacted law, while "statute" is also used to refer to a single law...
. Some amount of interpretation is always necessary when case involves a
statuteA statute is a formal written enactment of a legislative authority that governs a country, state, city, or county. Typically, statutes command or prohibit something, or declare policy. The word is often used to distinguish law made by legislative bodies from case law and the regulations issued by...
. Sometimes the words of a statute have a plain and straightforward meaning. But in most cases, there is some
ambiguityAmbiguity is the property of being ambiguous, where a word, term, notation, sign, symbol, phrase, sentence, or any other form used for communication, is called ambiguous if it can be interpreted in more than one way. Ambiguity is different from vagueness, which arises when the boundaries of meaning...
or
vaguenessThe term vagueness denotes a property of concepts . A concept is vague:* if the concept's extension is unclear;* if there are objects which one cannot say with certainty whether they belong to a group of objects which are identified with this concept or which exhibit characteristics that have...
in the words of the statute that must be resolved by the judge. To find the meanings of statutes, judges use various tools and methods of statutory interpretation, including traditional canons of statutory interpretation, legislative history, and purpose.
In
common lawCommon law is law developed by judges through decisions of courts and similar tribunals , rather than through legislative statutes or executive action, and to corresponding legal systems that rely on precedential case law....
jurisdictions, the
judiciaryThe judiciary is the system of courts which interprets and applies the law in the name of the sovereign or state. The judiciary also provides a mechanism for the resolution of disputes...
may apply rules of statutory interpretation to legislation enacted by the
legislatureA legislature is a type of deliberative assembly with the power to pass, amend and repeal laws. The law created by a legislature is called legislation or statutory law...
or to
delegated legislationIn the United Kingdom, delegated legislation is legislation or law that is passed otherwise than in an Act of Parliament . Instead, an enabling Act confers a power to make delegated legislation on a Government Minister or another person or body...
such as administrative agency
regulationRegulation is "controlling human or societal behaviour by rules or restrictions." Regulation can take many forms: legal restrictions promulgated by a government authority, self-regulation, social regulation , co-regulation and market regulation. One can consider regulation as actions of conduct...
s.
The
judiciaryThe judiciary is the system of courts which interprets and applies the law in the name of the sovereign or state. The judiciary also provides a mechanism for the resolution of disputes...
interprets how legislation should apply in a particular case as no legislation unambiguously and specifically addresses all matters.
Statutory interpretation is the process of interpreting and applying
legislationLegislation is law which has been promulgated by a legislature or other governing body, or the process of making it. The term may refer to a single law, or the collective body of enacted law, while "statute" is also used to refer to a single law...
. Some amount of interpretation is always necessary when case involves a
statuteA statute is a formal written enactment of a legislative authority that governs a country, state, city, or county. Typically, statutes command or prohibit something, or declare policy. The word is often used to distinguish law made by legislative bodies from case law and the regulations issued by...
. Sometimes the words of a statute have a plain and straightforward meaning. But in most cases, there is some
ambiguityAmbiguity is the property of being ambiguous, where a word, term, notation, sign, symbol, phrase, sentence, or any other form used for communication, is called ambiguous if it can be interpreted in more than one way. Ambiguity is different from vagueness, which arises when the boundaries of meaning...
or
vaguenessThe term vagueness denotes a property of concepts . A concept is vague:* if the concept's extension is unclear;* if there are objects which one cannot say with certainty whether they belong to a group of objects which are identified with this concept or which exhibit characteristics that have...
in the words of the statute that must be resolved by the judge. To find the meanings of statutes, judges use various tools and methods of statutory interpretation, including traditional canons of statutory interpretation, legislative history, and purpose.
In
common lawCommon law is law developed by judges through decisions of courts and similar tribunals , rather than through legislative statutes or executive action, and to corresponding legal systems that rely on precedential case law....
jurisdictions, the
judiciaryThe judiciary is the system of courts which interprets and applies the law in the name of the sovereign or state. The judiciary also provides a mechanism for the resolution of disputes...
may apply rules of statutory interpretation to legislation enacted by the
legislatureA legislature is a type of deliberative assembly with the power to pass, amend and repeal laws. The law created by a legislature is called legislation or statutory law...
or to
delegated legislationIn the United Kingdom, delegated legislation is legislation or law that is passed otherwise than in an Act of Parliament . Instead, an enabling Act confers a power to make delegated legislation on a Government Minister or another person or body...
such as administrative agency
regulationRegulation is "controlling human or societal behaviour by rules or restrictions." Regulation can take many forms: legal restrictions promulgated by a government authority, self-regulation, social regulation , co-regulation and market regulation. One can consider regulation as actions of conduct...
s.
Meaning
The
judiciaryThe judiciary is the system of courts which interprets and applies the law in the name of the sovereign or state. The judiciary also provides a mechanism for the resolution of disputes...
interprets how legislation should apply in a particular case as no legislation unambiguously and specifically addresses all matters. Legislation may contain uncertainties for a variety of reasons:
- Words are imperfect symbols to communicate intent. They are ambiguous and change in meaning over time.
- Unforeseen situations are inevitable, and new technologies and cultures make application of existing laws difficult.
- Uncertainties may be added to the statute in the course of enactment, such as the need for compromise or catering to special interest group
An interest group is an organization that seeks to influence political decisions. This can be done by explaining the benefits of a policy to the relevant politicians, by making financial contributions or incentives, or a combination of the two...
s.
Therefore, the court must try to determine how a statute should be enforced. This requires
statutory construction. It is a tenet of statutory construction that the legislature is supreme (assuming constitutionality) when creating law and that the court is merely an interpreter of the law. In practice, by performing the construction the court can make sweeping changes in the operation of the law.
Conflicts between sources of law
Where legislation and
case lawCase law is the reported decisions of selected appellate and other courts which make new interpretations of the law and, therefore, can be cited as precedents in a process known as stare decisis...
are in conflict, there is a presumption that legislation takes precedence insofar as there is any inconsistency. In the
United KingdomThe United Kingdom of Great Britain and Northern Ireland is a sovereign state located off the northwestern coast of continental Europe. It is an island country, spanning an archipelago including Great Britain, the northeastern part of Ireland, and many small islands...
this principle is known as Parliamentary Sovereignty. In Australia and in the United States, the courts have consistently stated that the text of the statute is used first, and it is read as it is written, using the ordinary meaning of the words of the statute.
- "[I]n interpreting a statute a court should always turn to one cardinal canon before all others. . . .[C]ourts must presume that a legislature says in a statute what it means and means in a statute what it says there." Connecticut Nat'l Bank v. Germain, 112 S. Ct. 1146, 1149
Case citation is the system used in many countries to identify the decisions in past court cases, either in special series of books called reporters or law reports, or in a 'neutral' form which will identify a decision wherever it was reported...
(1992). Indeed, "when the words of a statute are unambiguous, then, this first canon is also the last: 'judicial inquiry is complete.'"
- "A fundamental rule of statutory construction requires that every part of a statute be presumed to have some effect, and not be treated as meaningless unless absolutely necessary." Raven Coal Corp. v. Absher, 153 Va. 332
Case citation is the system used in many countries to identify the decisions in past court cases, either in special series of books called reporters or law reports, or in a 'neutral' form which will identify a decision wherever it was reported...
, 149 S.E. 541 (1929).
- "In assessing statutory language, unless words have acquired a peculiar meaning, by virtue of statutory definition or judicial construction, they are to be construed in accordance with their common usage." Muller v. BP Exploration (Alaska) Inc., 923 P.2d 783, 787-88 (Alaska 1996);
FederalA federal republic is a federation of states with a republican form of government. A federation is the central government. The states in a federation also maintain the federation...
jurisdictions may presume that either federal or local government authority prevails in the absence of a defined rule. In
CanadaCanada is a country occupying most of northern North America, extending from the Atlantic Ocean in the east to the Pacific Ocean in the west and northward into the Arctic Ocean...
, there are areas of law where provincial governments and the federal government have concurrent jurisdiction. In these cases the federal law is held to be paramount. However, in areas where the Canadian constitution is silent, the federal government does not necessarily have superior jurisdiction. Rather, an area of law that is not expressly mentioned in Canada's Constitution will have to be interpreted to fall under either the federal residual jurisdiction found in s. 91 -- known as the Peace, Order and Good Government clause -- or the provinces residual jurisdiction of "Property and Civil Rights" under s. 92(10) of the 1867 Constitution Act. This contrasts with other federal jurisdictions, notably the
United StatesThe United States of America is a federal constitutional republic comprising fifty states and a federal district...
and
AustraliaAustralia , officially the Commonwealth of Australia, is a country in the Southern Hemisphere comprising the continental mainland , the island of Tasmania, and numerous smaller islands in the Indian and Pacific Oceans...
, where it is presumed that if legislation is not enacted pursuant to a specific provision of the federal
ConstitutionA constitution is a set of rules for government—often codified as a written document—that establishes principles of an autonomous political entity. In the case of countries, this term refers specifically to a national constitution defining the fundamental political principles, and establishing the...
, the states will have authority over the relevant matter in their respective jurisdictions.
Internal and external consistency
It is presumed that a statute will be interpreted so as to be internally consistent. A particular section of the statute shall not be divorced from the rest of the act. The
ejusdem generis (Latin for "of the same kind") rule applies to resolve the problem of giving meaning to groups of words where one of the words is ambiguous or inherently unclear. The rule results that where "general words follow enumerations of particular classes or persons or things, the general words shall be construed as applicable only to persons or things of the same general nature or kind as those enumerated." 49 F. Supp. 846, 859. Thus, in a statute forbidding the concealment on one's person of "pistols, revolvers, derringers, or other dangerous weapons," the term "dangerous weapons" may be construed to comprehend only dangerous weapons of the kind enumerated, i.e., firearms, or perhaps more narrowly still, handguns. Here, the term "dangerous weapons" must be given a meaning of the "same kind" as the word of established meaning.
A statute shall not be interpreted so as to be inconsistent with other statutes. Where there is an inconsistency, the judiciary will attempt to provide a harmonious interpretation.
Statements of the legislature
Legislative bodies themselves may try to influence or assist the courts in interpreting their laws by placing into the legislation itself statements to that effect. These provisions have many different names, but are typically noted as
Findings;
Declarations, sometimes suffixed with
of Policy or
of Intent; or
Sense of Congress, or of either house in multi-chamber bodies. These provisions of the bill simply give the legislature's goals and desired effects of the law, and are considered nonsubstantive and non-enforcable in and of themselves.
Canons
Also known as canons of construction, canons give common sense guidance to courts in interpreting the meaning of statutes. Most canons emerge from the
common lawCommon law is law developed by judges through decisions of courts and similar tribunals , rather than through legislative statutes or executive action, and to corresponding legal systems that rely on precedential case law....
process through the choices of judges. Proponents of the use of canons argue that the canons constrain judges and limit the ability of the courts to
legislate from the benchJudicial activism is a critical term used to describe judicial rulings that impose a personal biased interpretation by a given court of what a law means as opposed to what a neutral, unbiased observer would naturally interpret a law to mean....
. Critics argue that a judge always has a choice between competing canons that lead to different results, so judicial discretion is only hidden through the use of canons, not reduced.
Textual
Textual canons are rules of thumb for understanding the words of the text. Some of the canons are still known by their traditional
LatinLatin is an Italic language originally spoken in Latium and Ancient Rome. Through the Roman conquest, Latin spread throughout the Mediterranean and a large part of Europe...
names.
Plain Meaning : When writing statutes, the legislature intends to use ordinary English words in their ordinary senses. The United States Supreme Court discussed the
plain meaning ruleThe Plain meaning rule, also known as the literal rule, is a type of statutory construction, which dictates that statutes are to be interpreted using the ordinary meaning of the language of the statute unless a statute explicitly defines some of its terms otherwise. In other words, the law is to...
in Caminetti v. U.S.,
242 U.S. 470Case citation is the system used in many countries to identify the decisions in past court cases, either in special series of books called reporters or law reports, or in a 'neutral' form which will identify a decision wherever it was reported...
(1917), reasoning "[i]t is elementary that the meaning of a statute must, in the first instance, be sought in the language in which the act is framed, and if that is plain... the sole function of the courts is to enforce it according to its terms." And if a statute's language is plain and clear, the Court further warned that "the duty of interpretation does not arise, and the rules which are to aid doubtful meanings need no discussion."
Ejusdem generis (Of the same kinds, class, or nature) : When a list of two or more specific descriptors are followed by more general descriptors, the otherwise wide meaning of the general descriptors must be restricted to the same class, if any, of the specific words that precede them. For example, where "cars, motor bikes, motor powered, vehicles" are mentioned, the word "vehicles" would be interpreted in a limited sense (therefore vehicles cannot be interpreted as including airplanes).
Expressio unius est exclusio alterius
(The express mention of one thing excludes all others) : Items not on the list are assumed not to be covered by the statute. However, sometimes a list in a statute is illustrative, not exclusionary. This is usually indicated by a word such as "includes" or "such as."
In pari materia
(Upon the same matter or subject) : When a statute is ambiguous, its meaning may be determined in light of other statutes on the same subject matter.
Noscitur a sociis
(A word is known by the company it keeps) : When a word is ambiguous, its meaning may be determined by reference to the rest of the statute.
Reddendo singula singulis
(Refers only to the last) : When a list of words has a modifying phrase at the end, the phrase refers only to the last, e.g., firemen, policemen, and doctors in a hospital.
Specialibus non derogant
- Described in
The Vera Cruz (1884) 10 App. Cas. 59 as: "Now if anything be certain it is this, that where there are general words in a later Act capable of reasonable and sensible application without extending them to subjects specially dealt with by earlier legislation, you are not to hold that earlier legislation indirectly repealed, altered, or derogated from merely by force of such general words, without any evidence of a particular intention to do so." This means that if a later law and an earlier law are potentially - but not necessarily - in conflict, courts will adopt the reading that does not result in an implied repeal of the earlier statute. Lawmaking bodies usually need to be explicit if they intend to repeal an earlier law.
Substantive
Substantive canons instruct the court to favor interpretations that promote certain values or policy results.
"Charming Betsy" Canon : National statute must be construed so as not to conflict with international law. See
Murray v. The Charming Betsy,
6 U.S. (2 Cranch) 64Case citation is the system used in many countries to identify the decisions in past court cases, either in special series of books called reporters or law reports, or in a 'neutral' form which will identify a decision wherever it was reported...
(1804): "It has also been observed that an act of Congress ought never to be construed to violate the law of nations if any other possible construction remains..."
Interpretation in Light of Fundamental Values : Statute does not violate fundamental societal values. See, for example,
Holy Trinity Church v. United StatesChurch of the Holy Trinity v. United States, 143 U.S. 457 , was a decision of the Supreme Court of the United States regarding an employment contract between The Church of the Holy Trinity, New York and an English preacher.- 1885 Act :...
,
143 U.S. 457Case citation is the system used in many countries to identify the decisions in past court cases, either in special series of books called reporters or law reports, or in a 'neutral' form which will identify a decision wherever it was reported...
(1892).
Rule of Lenity : In construing an ambiguous criminal statute, the court should resolve the ambiguity in favor of the defendant. See McNally v. United States
, 483 U.S. 350 (1987); See, e.g., Muscarello v. U.S., 524 U.S. 125 (1998) (declining to apply the rule of lenity); Evans v. U.S., 504 U.S. 255 (1992) (Thomas, J., dissenting); Scarborough v. U.S., 431 U.S. 563 (1977) (Stewart, J., dissenting); See United States v. Santos
(2008).
Avoidance of abrogation of state sovereignty : See Gregory v. Ashcroft, 501 U.S. 452 (1991); see also Gonzales v. Oregon, 546 U.S. 243 (2006); see also Nevada Dept. of Human Resources v. Hibbs
, 538 U.S. 721 (2003)
Deference
Deference canons instruct the court to defer to the interpretation of another institution, such as an administrative agency or Congress. These canons reflect an understanding that the judiciary is not the only branch of government entrusted with constitutional responsibility.
Deference to Administrative Interpretations (US Chevron
deference) : If the statute grants power to an administrative agency and is ambiguous with respect to the specific issue, the courts will defer to the agency's reasonable interpretation of the statute. This rule of deference was formulated in the US by the United States Supreme CourtThe Supreme Court of the United States is the highest judicial body in the United States, and leads the federal judiciary. It consists of the Chief Justice of the United States and eight Associate Justices, who are nominated by the President and confirmed with the "advice and consent" of the Senate...
in Chevron v. Natural Resources Defense Council
Chevron U.S.A., Inc. v. Natural Resources Defense Council, Inc., 467 U.S. 837 , was a case in which the United States Supreme Court set forth the legal test for determining whether to grant deference to a government agency's interpretation of its own statutory mandate...
,
467 U.S. 837 (1984)Case citation is the system used in many countries to identify the decisions in past court cases, either in special series of books called reporters or law reports, or in a 'neutral' form which will identify a decision wherever it was reported...
.
Avoidance Canon (Canon of Constitutional Avoidance) : If a statute is susceptible to more than one reasonable construction, courts should choose an interpretation that avoids raising constitutional problems. In the US, this canon has grown stronger in recent history. The traditional avoidance canon required the court to choose a different interpretation only when one interpretation was actually unconstitutional. The modern avoidance canon tells the court to choose a different interpretation when another interpretation merely raises constitutional doubts.
Avoiding Absurdity : The legislature did not intend an absurd or manifestly unjust result.
Clear statement ruleIn American law, the clear statement rule is a guideline for statutory construction, instructing courts to not interpret a statute in a way that will have particular consequences unless the statute makes unmistakably clear its intent to achieve that result...
: When a statute may be interpreted to abridge long-held rights of individuals or states, or make a large policy change, courts will not interpret the statute to make the change unless the legislature clearly stated it. This rule is based on the assumption that the legislature would not make major changes in a vague or unclear way, and to ensure that voters are able to hold the appropriate legislators responsible for the modification.
Leges posteriores priores contrarias abrogant (Subsequent laws repeal those before enacted to the contrary, aka "Last in Time") : When two statutes conflict, the one enacted last prevails.
Criticism
Critics of the use of canons argue that canons impute some sort of "omniscience" to the legislator, suggesting that it is aware of the canons when constructing the laws. In addition, it is argued that the canons give a credence to judges who want to construct the law a certain way, imparting a false sense of justification to their otherwise arbitrary process. In a classic article, Karl Llewellyn argued that every canon had a "counter-canon" that would lead to the opposite interpretation of the statute.
However, it could be argued that the fundamental nature of language is to blame for the problem of "for every canon, a counter." Interpreting whether a statute applies to a given set of facts often boils down to analyzing whether a single word or short phrase covers some element of the factual situation before the judge. The expansiveness of language necessarily means that there will often be good (or equally unconvincing) arguments for two competing interpretations. A judge is then forced to resort to documentation of legislative intent, which may also be unhelpful, and then finally to his or her own judgment of what outcome is ultimately fair and logical under the totality of the circumstances. Canons of statutory construction give judges the ability to decide questions of statutory interpretation that necessarily rely on an element of judicial discretion.
Philosophies
Over time, various methods of statutory construction have fallen in and out of favor. Some of the better known rules of construction methods are:
- The Golden rule
In law, the Golden rule, or British rule, is a form of statutory interpretation that allows a judge to depart from a word's normal meaning in order to avoid an absurd result.-Circumstances of use:...
- The Literal rule
- The Mischief rule
Within the context of law, the mischief rule is a rule of statutory interpretation that attempts to determine the legislator's intention. Originating from a 16th century case in the United Kingdom, its main aim is to determine the "mischief and defect" that the statute in question has set out to...
- The Purposive approach
See also
- Judicial activism
Judicial activism is a critical term used to describe judicial rulings that impose a personal biased interpretation by a given court of what a law means as opposed to what a neutral, unbiased observer would naturally interpret a law to mean....
- Judicial interpretation
Judicial interpretation is a theory or mode of thought that explains how the judiciary should interpret the law, particularly constitutional documents and legislation...
- Rule of law
The rule of law, also called supremacy of law, means that the law is above everyone and it applies to everyone. Whether governor or governed, rulers or ruled, no one is above the law, no one is exempted from the law, and no one can grant exemption to the application of the law.Rule of law is a...
- Pepper v. Hart [1993] AC 573
Further reading
- CRS Report for Congress: "Statutory interpretation: General Principles and Recent Trends" (public domain - can be copied into article with citations)
- The multi-volume Sutherland Statutory Construction is the authoritative text on the rules of statutory construction.
- Karl Llewellyn, Remarks on the Theory of Appellate Decisions and the Rules or Canons About How Statutes Are to Be Construed 3 Vand. L. Rev. 395 (1950).
- United States of America v. William C. Scrimgeour 636 F.2d 1019 (5th Cir. 1981) discusses most aspects of statutory construction.
- Brudney & Ditslear, Canons of Construction and the Elusive Quest for Neutral Reasoning
- Sinclair, Michael, "Llewellyn's Dueling Canons, One to Seven: A Critique". New York Law School Law Review, Vol. 51, Fall 2006.
- Corrigan & Thomas, “Dice Loading” Rules Of Statutory Interpretation, 59 NYU Annual Survey Of American Law 231, 238 (2003).
- The Rules of Statutory Construction (Virginia)
- Statutory Interpretation, by Ruth Sullivan, 1997. Canadian examples and explanations.
External links